Resolution
MEPC.127(53)
GUIDELINES FOR BALLAST WATER MANAGEMENT AND DEVELOPMENT OF BALLAST WATER
MANAGEMENT PLANS (G4)
(Adopted
on 22 July 2005)
amended
by MEPC 53/24/Add.1/Corr.1 4 October 2005
THE
MARINE ENVIRONMENT PROTECTION COMMITTEE,
RECALLING
Article 38(a) of the Convention on the International Maritime Organization
concerning the functions of the Marine Environment Protection Committee
conferred upon it by the international conventions for the prevention and
control of marine pollution,
RECALLING
ALSO that the International Conference on Ballast Water Management for Ships
held in February 2004 adopted the International Convention for the Control and
Management of Ships' Ballast Water and Sediments, 2004 (the Ballast Water
Management Convention) together with four Conference resolutions,
NOTING
that Regulation A-2 of the Ballast Water Management Convention requires that
discharge of ballast water shall only be conducted through Ballast Water
Management in accordance with the provisions of the Annex to the Convention,
NOTING
FURTHER that Regulation B-1 of the Annex to the Ballast Water Management
Convention provides that each ship shall have on board and implement a ballast
water management plan approved by the Administration, taking into account Guidelines
developed by the Organization,
NOTING
ALSO that resolution 1 adopted by the International Conference on Ballast Water
Management for Ships invites the Organization to develop these Guidelines as a
matter of urgency,
HAVING
CONSIDERED the draft Guidelines for ballast water management and development of
ballast water management plans developed by the Ballast Water Working Group and
the recommendation made by the Sub-Committee on Bulk Liquids and Gases at its
ninth session,
1.
ADOPTS the Guidelines for ballast water management and development of ballast
water management plans, as set out in the Annex to this resolution;
2.
INVITES Governments to apply the Guidelines as soon as possible, or when the
Convention becomes applicable to them; and
3.
AGREES to keep the Guidelines under review.
Annex.
GUIDELINES FOR BALLAST WATER MANAGEMENT AND THE DEVELOPMENT OF BALLAST WATER
MANAGEMENT PLANS (G4)
1.1
Ballast water is essential to control trim, list, draught, stability, or
stresses of the ship. However, ballast water may contain aquatic organisms or
pathogens which, if introduced into the sea including estuaries, or into fresh
water courses, may create hazards to the environment, human health, property or
resources, impair biological diversity or interfere with other legitimate uses
of such areas.
1.2
The selection of appropriate methods of ballast water management should take
into account the need ensure that Ballast Water Management practices used to
comply with this Convention do not cause greater harm than they prevent to the
environment, human health, property or resources of any States and the safety
of ships.
1.3
The objectives of these Guidelines are to assist Governments, appropriate
authorities, ships masters, operators and owners, and port authorities, as well
as other interested parties, in preventing, minimizing and ultimately
eliminating the risk of introducing harmful aquatic organisms and pathogens
from ships' ballast water and associated sediments while protecting ships'
safety in applying the International Convention for the Control and Management
of Ships' Ballast Water and Sediments (hereinafter referred to as the
"Convention").
1.4 These guidelines consist of two parts:
Part A
"Guidelines for Ballast Water Management", which contains guidance on
the general principles of Ballast Water Management; and
Part B
"Guidelines for the development of Ballast Water Management Plans",
which contains guidance on the structure and content of Ballast Water
Management Plans required by Regulation B-1 of the Convention.
2.1
For the purposes of these Guidelines, the definitions in the Convention apply.
2.2
Ballast Water Tank means any tank, hold, or space used for the carriage of
ballast water.
3.1
The Guidelines apply to all ships and to Flag Administrations, port States,
coastal States, ship owners, ship operators, ships' personnel involved in
Ballast Water Management, ship designers, ship builders, classification
societies as well as other interested parties.
PART A.
GUIDELINES FOR BALLAST WATER MANAGEMENT
1. SHIP OPERATIONAL
PROCEDURES
Avoiding
unnecessary discharge of ballast water
1.1.1
If it is necessary to take on and discharge ballast water in the same port to
facilitate safe cargo operations, care should be taken to avoid unnecessary
discharge of ballast water that has been taken up in another port.
1.1.2
Managed ballast water which is mixed with unmanaged ballast water is no longer
in compliance with Regulations D-1 and D-2 of the Annex to the Convention.
Minimizing
the uptake of harmful aquatic organisms, pathogens and sediments
1.1.3
When loading ballast, every effort should be made to avoid the uptake of
potentially harmful aquatic organisms, pathogens, and sediment that may contain
such organisms. The uptake of ballast water should be minimized or, where
practicable, avoided in areas and situations such as:
.1 in areas
identified by the port State in connection with advice provided by ports under paragraph
2.2.2;
.2 in darkness
when organisms may rise up in the water column;
.3 in very
shallow water;
.4 where
propellers may stir up sediment; or
.5 where
dredging is or recently has been carried out.
1.2 Ballast water management options
1.2.1 Ballast Water Exchange
1.2.1.1
Ballast water exchange is to be conducted in accordance with Regulation B-4 of
the Convention and in accordance with the Guidelines for Ballast Water
Exchange.
1.2.1.2
The voyage should be planned taking into account when ballast water exchange in
accordance with Regulation B4 of the Convention can be carried out.
1.2.1.3
Because of the possibility that partially exchange may encourage re-growth of
organisms, ballast water exchange should only be commenced in any tank if there
is sufficient time to complete the exchange to comply with the standard in
Regulation D-1 and the ship can comply with the distance from land and minimum
water depth criteria in Regulation B-4. As many complete tanks should be
exchanged to the standard in Regulation D-1 as the time allows, if for any tank
the standard in Regulation D-1 can not be fully met the exchange should not be
commenced for that tank.
1.2.1.4
If ballast water exchange is not undertaken for the reasons in Regulation
B-4.4, i.e. if the master reasonably decides that such exchange would threaten
the safety or stability of the ship, its crew, or its passengers because of
adverse weather, ship design or stress, equipment failure, or any other
extraordinary condition, then details of the reasons ballast water exchange was
not undertaken are to be recorded in the Ballast Water Record Book.
1.2.1.5
A port State may designate areas in which exchange may be conducted taking into
account the Guidelines on designation of areas for ballast water exchange.
Designated areas should only be used for those ballast water tanks that are
intended to be discharged in the port of that State and that could not be
exchanged in accordance with Regulation B-4.1 of the Convention.
1.2.2
Ballast Water Management Systems
1.2.2.1
Ballast Water Management Systems installed for compliance with Regulation B-3
are to be approved in accordance with Regulation D-3. Such systems are to be
operated in accordance with the system design criteria and the manufacture's
operational and maintenance instructions. The use of such systems should be
detailed in the ship's Ballast Water Management Plan. All failures and
malfunctions of the system are to be recorded in the Ballast Water Record Book.
1.2.3
Discharge to ballast water reception facilities
1.2.3.1
If ballast water reception facilities provided by a port State are utilized,
Regulation B-3.6 applies.
1.2.4
Prototype ballast water treatment technologies
1.2.4.1
Prototype ballast water treatment technologies should be used within a
programme approved by the Administration in accordance with Regulation D-4.
1.3.1
Regulation B-5 requires that all ships shall remove and dispose of sediments
from spaces designated to carry ballast water in accordance with the ballast
water management plan.
1.3.2
All practical steps should be taken during ballast uptake to avoid sediment
accumulation, however, it is recognized that sediment will be taken on board
and will settle on tank surfaces. When sediment has accumulated, consideration
should be given to flushing tank bottoms and other surfaces when in suitable
areas, i.e. areas complying with the minimum depth and distance described by
Regulations B-4.1.1 and B-4.1.2.
1.3.3
The volume of sediment in a ballast tank should be monitored on a regular
basis.
1.3.4
Sediment in ballast tanks should be removed in a timely basis in accordance
with the Ballast Water Management Plan and as found necessary. The frequency
and timing of removal will depend on factors such as sediment build up, ship's
trading pattern, availability of reception facilities, work load of the ship's
personnel and safety considerations.
1.3.5
Removal of sediment from ballast tanks should preferably be undertaken under
controlled conditions in port, at a repair facility or in dry dock. The removed
sediment should preferably be disposed of in a sediment reception facility if
available, reasonable and practicable.
1.3.6
When sediment is removed from the ship's ballast tanks and is to be disposed of
by that ship at sea, such disposal should only take place in areas outside 200
nm from land and in water depths of over 200 m.
1.3.7
Regulation B-5 requires that ships constructed in or after 2009 should, without
compromising safety or operational efficiency, be designed and constructed with
a view to minimize the uptake and undesirable entrapment of sediment,
facilitate removal of sediments, and provide safe access to allow for sediment
removal and sampling, taking into account the Guidelines for sediments control
on ships (G12). This also applies to ships constructed prior to 2009, to the
extent practicable.
1.4.1
Ships to which additional measures apply, under Regulation C-1, should take
them into account in the ships voyage planning. Actions taken to comply with
any additional measures should be recorded in the Ballast Water Record Book.
1.5.1
Regulation A-4 provides that an exemption may be granted from the requirements
of Regulations B-3 or C-1 by a Party or Parties to a ship in specific
circumstances. Applications for and the granting of such exemptions should be
completed in accordance with the Guidelines for risk assessment under
regulation A-4(G7).
1.5.2
Ships granted an exemption referred to in paragraph 1.5.1 above should record
the exemption in the Ballast Water Record Book and what actions have been taken
with regards to the ships ballast water.
2.1.1
To facilitate the administration of ballast water management and treatment
procedures on board each ship, a responsible officer is to be designated in
accordance with Regulation B-1 to ensure the maintenance of appropriate records
and to ensure that ballast water management and/or treatment procedures are followed
and recorded.
2.1.2
When carrying out any ballast water operation the details are to be recorded in
the Ballast Water Record Book together with any exemptions granted in
accordance with Regulation B-3 or C-1.
2.1.3
Where a port State requires information on ships ballast operations, relevant
documentation, which takes account of the information requirements of the
Convention, should be made available to the port State.
2.2 Procedures for port States
2.2.1
Port States should provide ships with details of their requirements concerning
ballast water management including:
.1 the location
and terms of use of areas designated for ballast water exchange under
Regulation B-4.2 of the Convention;
.2 any
additional measures determined under Regulation C-1 of the Convention;
.3 warnings
concerning ballast uptake and any other port contingency arrangements in the
event of emergency situations; and
.4 the
availability, location, capacities of reception facilities that are provided
for the environmentally safe disposal of ballast water and/or sediments, under
Article 5 and Regulation B-3.6.
2.2.2
To assist ships in applying the precautionary practices described in section
1.1 of Part A, port States are required by Regulation C-2 of the Convention to
endeavour to notify mariners of area(s), where ships should not uptake Ballast
Water due to known conditions. Similar notification should be given for areas
where the uptake of ballast water should be minimized, such as:
.1 areas with
outbreaks, infestations or known populations of harmful organisms and
pathogens;
.2 areas with
current phytoplankton blooms (algal blooms, such as red tides);
.3 nearby sewage
outfalls;
.4 areas where a
tidal stream is known to be the more turbid;
.5 areas where
tidal flushing is known to be poor;
.6 nearby
dredging operations; and
.7 nearby or in
sensitive or estuarine sea areas.
3.1
Regulation B-6 requires that officers and crew shall be familiar with their
duties in the implementation of Ballast Water Management particular to the ship
on which they serve. Owners, managers, operators, and others involved in
officer and crew training for ballast water management should consider the
following:
3.2
Training for ships' masters and crews as appropriate should include
instructions on the requirements of the Convention, the ballast water and
sediment management procedures and the Ballast Water Record Book particularly
having regard to matters of ship safety and maintenance of records in
accordance with the information contained in these Guidelines.
3.3
The Ballast Water Management Plan should include training and education on
ballast water management practices and the systems and procedures used on board
the ship.
PART B.
GUIDELINES FOR THE DEVELOPMENT OF
BALLAST WATER MANAGEMENT PLANS
1.1
These Guidelines have been developed to assist with the preparation of a ship's
Ballast Water Management Plan (hereafter referred to as the "Plan").
The Plan must be approved by the Administration in accordance with Regulation
B-1 of the Convention.
1.2
This Part is comprised of three primary sections:
.1 General: this
section provides the objectives and a general overview of the subject matter
and introduces the reader to the basic concept of the Guidelines and the Plan
that is expected to be developed from them. This section also contains guidance
on updating and use of the Plan.
.2 Mandatory
provisions: this section provides guidance to ensure that the mandatory
provisions of Regulation B-1 of the Annex to the Convention are met.
.3 Non-mandatory
provisions: this section provides guidance concerning the inclusion of other
information in the Plan. This information, although not required under
Regulation B-1 of the Convention, may be found useful by local authorities in
ports visited by the ship, or may provide additional assistance to the ship's
master.
1.3
The format for a Ballast Water Management Plan is given in Appendix.
2.1.1
these Guidelines are intended to provide a basis for the preparation of the
Plans for individual ships. The broad spectrum of ships for which Plans are
required makes it impractical to provide specific guidelines for each ship
type. For a Plan to be effective and to comply with Regulation B-1 of the Annex
of the Convention, it must be carefully tailored to the particular ship for
which it is intended. Properly used, the Guidelines will ensure that all
appropriate issues that may be applicable to a particular ship are considered in
developing the Plan.
2.1.2
The issues that may require consideration include but are not limited to: type
and size of ship, volume of ballast carried and total capacity of tanks used
for ballast, ballast pumping capacity, ship and crew safety issues, voyage type
and length, the ship's typical operational requirements, and ballast water
management techniques used on board.
2.2.1
The Plan is required to be onboard the ship and available to guide personnel in
safe operation of the Ballast Water Management system employed on a particular
ship. Effective planning ensures that the necessary actions are taken in a
structured, logical, and safe manner.
2.2.2
For the Plan to accomplish its purpose, it must be:
.1 realistic,
practical, and easy to use;
.2 understood by
ship's personnel engaged in ballast water management, both on board and ashore;
.3 evaluated,
reviewed, and updated as necessary; and
.4 consistent
with the operational ballasting requirements of the ship.
2.2.3
The Plan envisioned by Regulation B-1 of the Annex to the Convention is
intended to be a simple document. Inclusion of extensive background information
on the ship, its structure, etc., should be avoided, as this is generally
available elsewhere. If such information is relevant, it should be kept in
annexes, or an existing document or manual reference should be made to the
location of the information.
2.2.4
The Plan is a document to be used on board by the ship's personnel engaged in
ballast water management. The Plan must therefore be available in a working
language of the ship's personnel. A change in the personnel and or the, working
language or would require the issuance of the Plan in the new language(s).
2.2.5
The Plan should be readily available for inspection by officers authorized by a
Party to the Convention.
2.3.1
Regulation A-4 allows that exemption may be granted to a ship from Regulation
B-3 or C-1.
2.3.2
Details of exemptions should be retained with the Plan.
2.3.3
Any exemption granted is to be recorded in the Ballast Water Record Book.
2.4.1
The Convention, in Regulation C-1 Additional Measures, gives a Party
individually or jointly with other Parties, the right to introduce measures in
addition to those in Section B. Such Additional Measures are to be communicated
to the Organization at least 6 months prior to the projected date of
implementation.
2.4.2
The Plan should be accompanied by a most recent list of Additional measures, as
communicated by the Organization relevant to the ship's trade. The Plan should
contain details and advice on the actions a ship must take to comply with any
additional measures that may be required in accordance with Regulation C-1 and
for any emergency or epidemic situations.
2.5.1
Regular review of the Plan by the owner, operator, or master should be
conducted to ensure that the information contained is accurate and updated. A
feedback system should be employed which will allow quick capture of changing
information and incorporation of it into the Plan.